Tag:  SEC

Let’s try an exercise; I’m going to give you some scenarios and you put them in order, from least to greatest risk to general health and safety: Going to the Doctor Living near a Nuclear Power Plant Driving a Car Playing with Fireworks Flying in an Airplane Shaking something free from a Vending Machine Swimming in the Ocean during Shark Attack Season Finished deciding your o

Two themes that we’ve covered in the past, if you want something done right you have to do it yourself and the importance of being proactive, are two common themes when it comes to the regulatory risk and compliance spaces. With the industry in the state that it is, the implications that a company is failing to institute its own measures for maintaining compliance with the regulations are becomi

The year is 2054 and crime as we know it, has been virtually eliminated. With the help of 3 mutated humans, called “Precogs”, capable of seeing crimes before they happen, the “PreCrime” unit, led by Tom Cruise, can stop murders before they occur, presumably without messing up their perfect hair. Now while the hair might be real, obviously the plot of Minority Report is science fictio

It shouldn’t come as news that every year the regulatory bodies which govern the financial industry come out with new rules, regulations, and standards by which these financial institutions need adhere. This year, it seems that a lot of regulatory focus has been on business culture, and business ethics, and with the cases that we’ve seen in the last year, it’s no surprise as to why. S

There’s no doubt that compliance is tricky business. Ensuring that your company adheres to the numerous regulations imposed by various bodies and administrations is a tough job that you may think requires you to hand it over to the experts. But you may be surprised to learn that doing that could cost you more in the end. Many firms who specialize in compliance offer the ever alluring idea tha

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